A Review of CBO's Activities in 2002 Under the Unfunded Mandates Reform Act |
May 2003 |
This report is the Congressional Budget Office's
(CBO's) annual review of its activities under the Unfunded Mandates Reform
Act of 1995. The report covers legislation before the Congress in 2002
that would impose federal mandates on other levels of government or the
private sector.
The report was prepared by Theresa Gullo, chief of the State and Local
Government Cost Estimates Unit of CBO's Budget Analysis Division, under
the supervision of Robert Sunshine, and by Patrice Gordon, chief of the
Private-Sector Mandates Unit of CBO's Microeconomic and Financial Studies
Division, under the supervision of Roger Hitchner. Many CBO staff members
contributed to the analyses underlying this report; they are listed in
Appendix C.
Christian Spoor edited the report, and Leah Mazade proofread it. Ernestine
McNeil prepared the tables, Lenny Skutnik produced the printed copies,
and Annette Kalicki prepared the electronic versions of the report for
CBO's Web site.
Douglas Holtz-Eakin
Director
May 2003
Tables |
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1. |
Number of CBO Mandate Statements for Bills, Proposed Amendments,
and Conference Reports in 2002 |
2. |
Status of 2002 Mandates That Would Exceed the Statutory Thresholds |
3. |
Laws Enacted in 2002 That Contained Intergovernmental Mandates |
4. |
Laws Enacted in 2002 That Contained Private-Sector Mandates |
5. |
Number of CBO Mandate Statements for Bills, Proposed Amendments,
and Conference Reports, 1996-2002 |
B-1. |
Bills Reviewed by CBO in 2002 That Contained Intergovernmental
Mandates |
B-2. |
Bills Reviewed by CBO in 2002 That Contained Private-Sector Mandates |
A Review of CBO's Activities in 2002 Under the Unfunded Mandates Reform Act |
Through laws and subsequent regulations,
the federal government frequently requires state, local, and tribal governments
and various private parties to expend resources to achieve certain goals.
In many cases, those resources are not counted in the federal budget.(1) The Unfunded Mandates Reform Act of 1995 (UMRA) was enacted to focus more attention on the costs of such federal mandates. In particular, UMRA was intended to ensure that the Congress carefully weighed those costs before imposing mandates on other levels of government or the private sector and
to encourage the federal government to provide financial assistance for the costs of intergovernmental mandates. To accomplish those goals, the law established a variety of procedural requirements (which are summarized in Appendix A).
One major provision in title I of UMRA requires the Congressional Budget
Office (CBO) to inform Congressional committees about federal mandates
in legislation. CBO must analyze all public bills that are reported by
authorizing committees--and, on request, other legislative proposals--for
the presence of such mandates. The law defines a mandate as any provision
in legislation, statute, or regulation that would impose an enforceable
duty on state, local, or tribal governments or the private sector. Duties
that arise as a condition of federal assistance or from participation in
a voluntary federal program are not considered mandates.
Title I of UMRA also requires CBO to estimate the costs of federal legislation
that would impose mandates on public- or private-sector entities. The agency
must provide a detailed cost estimate for each bill that contains mandates
whose total costs to other levels of government would be $50 million or
more in any one year or whose total costs to the private sector would be
$100 million or more in a year. (Those thresholds are in 1996 dollars and
are adjusted annually for inflation. In 2002, they were $58 million for
intergovernmental mandates and $115 million for private-sector mandates.)
This report summarizes CBO's activities under title I of UMRA during
calendar year 2002 and updates data provided in the agency's six previous
annual reports on that law.(2)
It identifies which legislation before the Congress in 2002 would have
imposed federal mandates on another level of government or the private
sector. It also lists the bills examined by CBO last year that were found
to contain mandates with costs above the relevant thresholds and notes
which of those mandates were enacted into law. The report also shows trends
in federal mandates considered by the Congress during the first seven years
that UMRA has been in effect.
Mandate Statements Prepared in 2002
In 2002, CBO analyzed nearly 650 bills, amendments, and other legislative
proposals for the presence of federal mandates and transmitted official
statements about them to the Congress (see Table
1). As in the previous six years, most of that legislation did
not contain federal mandates as defined by UMRA. Just 60 bills or other
legislative proposals (9 percent) contained intergovernmental mandates
in 2002, and 73 (11 percent) contained private-sector mandates. (Those
bills and their mandates are listed in Appendix B.)
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Table 1.
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Number of CBO Mandate Statements for
Bills, Proposed Amendments, and Conference Reports in 2002 |
|
|
Intergovernmental Mandates |
Private-Sector Mandates |
|
Total Number of Statements Transmitted |
649 |
|
645 |
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|
Number of Statements That Identified Mandates |
60 |
|
73 |
|
|
Mandate costs would exceed thresholda |
6 |
|
19 |
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|
Mandate costs could not be estimated |
5 |
|
14 |
|
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About half of the legislation with intergovernmental mandates that CBO
identified in 2002 consisted of explicit preemptions of state or local
authority.(3) In most of
those cases, the estimated costs to comply with the preemptions were not
significant.
In fact, most of the legislation that contained mandates would not have
imposed costs exceeding the thresholds set by UMRA. Only six (10 percent)
of the bills with intergovernmental mandates would have cost state, local,
and tribal governments as a whole at least $58 million in any year, by
CBO's estimate. Nineteen (26 percent) of the bills with private-sector
mandates would have imposed costs of more than $115 million in any one
year.
Intergovernmental Mandates with Costs Above the Statutory Threshold
Because CBO prepares mandate statements for every public bill reported
by a House or Senate authorizing committee, and because both bodies may
consider the same or similar mandates in more than one piece of legislation,
the number of separate mandates included in legislation is smaller than
the total number of mandate statements that CBO prepared. The six statements
that CBO provided in 2002 for proposed legislation containing intergovernmental
mandates above the cost threshold actually identified five distinct mandates
(see Table 2):
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Table 2.
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Status of 2002 Mandates That Would Exceed the Statutory
Thresholds |
|
Topic |
Mandate |
Was a Version Enacted into Law? |
Did the Enacted Version Exceed the Threshold? |
|
Intergovernmental Mandates with Costs Above
the Statutory Thresholda |
|
Clean Power |
Requires public power plants to comply with new emission controls |
No |
n.a. |
|
Gambling Reform |
Prohibits interstate transmission of certain gaming wagers and the
operation of some linked games by Indian tribes |
No |
n.a. |
|
Medicare Modernization and Prescription Drugs |
Preempts state premium taxes and disclosure regulations that affect
health plans |
No |
n.a. |
|
Minimum Wage |
Requires state and local governments as employers to pay a higher minimum
wage |
No |
n.a. |
|
Social Security Number Protection |
Prohibits display of Social Security numbers on certain public documents |
No |
n.a. |
|
Private-Sector Mandates with Costs
Above the Statutory Thresholda |
|
Attorney Fees in Malpractice Cases |
Limits the size of the awards that attorneys may receive in medical
malpractice cases |
No |
n.a. |
|
Child Passenger Protection |
Requires a lap- and shoulder-belt harness in the center-rear seating
position of automobiles |
Yes (P.L. 107-318)b |
Yes |
|
Clean Power |
Limits emissions of carbon dioxide, sulfur dioxide, and nitrogen oxide
from large electricity generators; requires coal-fired facilities to reduce
mercury emissions; eliminates current exemptions for certain coal-fired
facilities from adopting BACT |
No |
n.a. |
|
Consumer Notification of Adverse Credit Information |
Requires depository institutions to notify customers of information
furnished to a consumer reporting agency that may adversely affect the
customers' interests |
No |
n.a. |
|
Country-of-Origin Labeling |
Requires notification and labels on certain foods indicating their
country of origin |
Yes
(P.L. 107-171)b |
Yes |
|
Federal Deposit Insurance Reform |
Increases federal deposit insurance coverage for most insured accounts,
which would require banks and savings associations to pay higher insurance
premiums |
No |
n.a. |
|
Health Insurance Coverage for Cancer Screening |
Requires group health plans and health insurance issuers to provide
coverage of colorectal cancer screening for certain plan enrollees |
No |
n.a. |
|
Minimum Wage |
Requires employers covered by the Fair Labor Standards Act to pay a
higher minimum wage |
No |
n.a. |
|
Nuclear Security |
Requires new security measures at sensitive nuclear facilities, effectively
raising fees for licensees; expands the system for licensing sensitive
radioactive materials |
No |
n.a. |
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Pension Security |
Makes numerous changes to the Employee Retirement Income Security Act
of 1974 that would affect the operations of private pension plans, including
new reporting requirements and limits on certain investments |
No |
n.a. |
|
Reversing the Expatriation of Profits Offshore |
Eliminates some of the tax-favored treatment afforded to transactions
of corporations that were previously incorporated in the United States
and have reincorporated in foreign jurisdictions |
No |
n.a. |
|
Steel Imports |
Increases tariff rates for importers of steel and steel products in
2006 |
No |
n.a. |
|
Tax Shelter Transparency |
Imposes recordkeeping and reporting requirements on certain types of
transactions and requires people who provide professional advice for such
transactions to submit returns |
No |
n.a. |
|
Intergovernmental Mandates with Costs That Could Not Be Estimated |
|
Port and Maritime Security |
Requires public port authorities to improve security procedures and
infrastructure |
Yes
(P.L. 107-295)b |
Uncertain |
|
Lawful Commerce in Arms |
Prohibits states from suing certain manufacturers and sellers of firearms
and ammunition |
No |
n.a. |
|
Work, Opportunity, and Responsibility for Kids |
Sets new requirements for states as administrators of the Child Support
Enforcement program |
No |
n.a. |
|
Online Privacy |
Requires certain public entities to comply with new procedures for
collecting, using, and disclosing some personal data |
No |
n.a. |
|
Private-Sector Mandates with Costs That
Could Not Be Estimated |
|
Accounting and Auditing Reform |
Establishes new oversight board, sets new standards, and imposes regulatory
fees; prohibits company owners and officers from selling stock issued by
that company during certain periods |
Yes
(P.L. 107-204)b |
Uncertain |
|
Antiterrorism Training for Flight Crews |
Requires air carriers to provide additional training to their flight
and cabin crews |
Yes
(P.L. 107-296)b |
Uncertain |
|
Customs User Fees |
Extends the government's authority to collect certain customs user
fees |
No |
n.a. |
|
Identity-Theft Protection |
Prohibits the display, sale, or purchase of someone's Social Security
number without that person's consent; requires businesses that accept credit
cards to truncate card numbers on electronically printed receipts |
No |
n.a. |
|
Imports from Vietnam |
Increases tariff rates for importers of goods from Vietnam |
No |
n.a. |
|
Medical Device User Fee |
Requires manufacturers of medical devices to comply with certain labeling
standards and application procedures and to pay fees to the Food and Drug
Administration |
No |
n.a. |
|
Online Personal Privacy |
Prohibits Internet and online service providers and commercial Web
sites from collecting or disclosing personal information from an Internet
user without the user's consent |
No |
n.a. |
|
Patient Safety |
Requires the manufacturer, packager, or labeler of any drug or biological
product that is subject to regulation by the Food and Drug Administration
to include a unique product identifier on the packaging |
No |
n.a. |
|
Port and Maritime Security |
Requires port authorities to improve security procedures and infrastructure |
Yes
(P.L. 107-295)b |
Uncertain |
|
Protection of Commerce in Arms |
Prohibits parties from suing certain manufacturers or sellers of firearms
when their products are used unlawfully |
No |
n.a. |
|
Vessel Identification |
Accelerates the date by which certain types of vessels operating in
U.S. waters must install automatic identification systems |
Yes
(P.L. 107-295)b |
Uncertain |
|
Veterans' Benefits |
Temporarily exempts some National Guard members who are performing
homeland security activities from certain financial obligations |
Yes
(P.L. 107-330)b |
Uncertain |
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-
New requirements for public power plants to comply with emission controls,
-
A prohibition on the interstate transmission of certain gaming wagers and
the operation of some linked games by Indian tribes,
-
A preemption of state premium taxes and disclosure regulations that affect
health plans,
-
An increase in the minimum wage, and
-
A prohibition on displaying Social Security numbers on certain public documents.
Private-Sector Mandates with Costs Above the Statutory Threshold
The 19 statements that CBO provided for legislation containing private-sector
mandates above the cost threshold identified 13 separate mandates (see
Table 2):
-
Limits on the size of awards that attorneys may receive in medical malpractice
cases;
-
A requirement that automakers install a lap- and shoulder-belt harness
in the center-rear seating position of vehicles;
-
New requirements for privately owned power plants to comply with emission
controls;
-
A requirement that depository institutions notify their customers when
they give certain information to consumer reporting agencies;
-
A requirement that some foods carry labels indicating their country of
origin;
-
An increase in the premiums that banks and savings associations pay for
federal deposit insurance;
-
A requirement that health insurers cover colorectal cancer screening for
plan enrollees;
-
An increase in the minimum wage;
-
New security measures and higher fees for nuclear facilities;
-
New reporting requirements for private pension plans and limits on their
investments;
-
A reduction in the tax-favored treatment available to U.S. corporations
that reincorporate in foreign jurisdictions;
-
Increases in tariff rates on steel and steel products; and
-
New recordkeeping and reporting requirements for people who provide professional
tax advice.
Public Laws in 2002 That Contained Mandates
The Congress and the President enacted 377 public laws in 2002. Of those,
20 contained one or more intergovernmental mandates as defined by UMRA
(see Table 3). For all but two of those
mandates, CBO estimates that they will not impose costs on state, local,
or tribal governments that exceed the $58 million annual threshold.
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Table 3.
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Laws Enacted in 2002 That Contained Intergovernmental
Mandates |
|
Public Law Number |
Name |
|
Mandate |
Was the Mandate Reviewed by CBO? |
Do Costs Exceed the Threshold?a |
|
107-180 |
Criminal Justice Coordinating Council Restructuring Act of 2002 |
|
Requires the District of Columbia Criminal Justice Coordinating Council to prepare annual report |
Yes |
No |
|
107-188 |
Public Health Security and Bioterrorism Preparedness and Response Act
of 2002 |
|
Preempts state laws that conflict with quarantine requirements for communicable diseases |
No |
No |
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|
Requires registration with the federal government of the possession,
use, and transfer of listed agents and toxins |
No |
Uncertain |
|
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Requires assessments of water supplies in communities of more than
3,300 people |
No |
Funded |
|
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|
Extends prescription drug application fees |
No |
No |
|
107-200 |
Joint resolution approving the site at Yucca Mountain, Nevada, for
the development of a repository for the disposal of high-level radioactive
waste and spent nuclear fuel, pursuant to the Nuclear Waste Policy Act
of 1982 |
|
Approves the placement of a nuclear waste site in Nevada (additional
costs to Nevada and neighboring states could result from existing federal
mandates) |
Yes |
No |
|
107-204 |
Sarbanes-Oxley Act of 2002 |
|
Allows the Public Company Accounting Oversight Board to conduct operations
and maintain offices in any state without regard to any conflicting state
law |
No |
No |
|
107-219 |
An act to rename Wolf Trap Farm Park as "Wolf Trap National Park for
the Performing Arts," and for other purposes |
|
Renames Wolf Trap Farm Park and requires Virginia to erect signs referring
to the park by its new full name |
Yes |
No |
|
107-220 |
An act to amend the Public Health Service Act to redesignate a facility
as the National Hansen's Disease Programs Center, and for other purposes |
|
Places requirements on manufacturers of medical devices |
Yes |
No |
|
107-224 |
John F. Kennedy Center Plaza Authorization Act of 2002 |
|
Allows the Mayor of the District of Columbia to dispose of property without City Council approval; allows
the U.S. Secretary of Transportation to require the District to reconfigure
streets in the Kennedy Center construction area; may require the District
to transfer air or property rights to the construction project |
Yes |
No |
|
107-231 |
National Construction Safety Team Act |
|
Requires public entities, if subpoenaed, to provide testimony and evidence
related to matters that the National Construction Safety Team would be
empowered to investigate |
Yes |
No |
|
107-250 |
Medical Device User Fee and Modernization Act of 2002 |
|
Gives the Secretary of Health and Human Services the authority to collect
user fees from manufacturers of medical devices to defray the cost of reviewing applications for approval to market those devices |
Yes |
No |
|
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|
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Requires manufacturers of medical devices to comply with certain labeling
and notification conventions and to submit their registrations electronically |
Yes |
No |
|
107-251 |
Health Care Safety Net Amendments of 2002 |
|
Preempts state statutes of limitations in cases in which the beneficiary
of a medical loan fails to make payments |
Yes |
No |
|
107-273 |
21st Century Department of Justice Appropriations Authorization Act |
|
Eliminates federal interest payments to states related to costs for
incarcerating illegal aliens |
Yes |
No |
|
107-295 |
Maritime Transportation Security Act of 2002 |
|
Requires port and maritime terminal authorities to establish comprehensive
transportation security programs if the Coast Guard conducts a vulnerability
assessment; requires vessels and port owners and operators to use and check
federal transportation identification cards if the port is designated as
a secure area (federal grants could offset up to 75 percent of the state
and local costs of those mandates) |
Yes |
Uncertain |
|
107-296 |
Homeland Security Act of 2002 |
|
Preempts state or local laws to the extent that they require disclosure
of information or records |
Yes |
No |
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Preempts state liability laws in cases involving alleged negligence
related to smallpox vaccines |
Yes |
No |
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107-297 |
Terrorism Risk Insurance Act of 2002 |
|
Nullifies any terrorism exclusion in a contract for property and casualty
insurance; that nullification preempts any previous state approval of insurance
with terrorism exclusions |
Yes |
No |
|
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Preempts any state definition of an "act of terrorism" that is inconsistent
with the federal definition; requires insurers to disclose books and records
to the Secretary of the Treasury, notwithstanding state laws to the contrary |
Yes |
No |
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Creates an exclusive federal cause of action for losses resulting from
an act of terrorism; preempts all state causes of action |
Yes |
No |
|
107-298 |
Real Interstate Driver Equity Act of 2002 |
|
Exempts ground transportation carriers that provide prearranged service
from state licensing and fee requirements as long as the carriers are properly
licensed in their home states and meet all federal interstate transportation
requirements |
Yes |
No |
|
107-306 |
Intelligence Authorization Act for Fiscal Year 2003 |
|
Requires public entities, if subpoenaed, to provide testimony and evidence to the National Commission on Terrorist
Attacks upon the United States; preempts state and local laws that would
require a government body to disclose information |
Yes |
No |
|
107-319 |
An act to amend the Consumer Product Safety Act to provide that low-speed
electric bicycles are consumer products subject to such act |
|
Preempts state laws and regulations governing low-speed electric bicycles
that are more stringent than regulations established by the Consumer Product
Safety Commission |
Yes |
No |
|
107-330 |
Veterans Benefits Act of 2002 |
|
Temporarily exempts some National Guard members who are performing
homeland security activities from certain financial obligations |
Yes |
No |
|
107-331 |
Indian Financing Amendments Act of 2002 |
|
Extinguishes outstanding legal claims of the Cherokee, Choctaw, and
Chickasaw nations |
Yes |
No |
|
107-355 |
Pipeline Safety Improvement Act of 2002 |
|
Requires operators of natural gas pipelines to adhere to minimum safety
standards, provide whistleblower protection for employees, create an employee qualification program, honor orders by the Department of Transportation to correct unsafe conditions, conduct facility risk analyses, develop an integrity management program, create a terrorism security plan, and provide mapping data |
Yes |
No |
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CBO was unable to estimate the costs of the other two intergovernmental
mandates that were enacted--one of which requires anyone possessing, using,
or transferring various toxins to register with the federal government
and the other of which establishes new security procedures for ports. There
are various reasons that CBO sometimes cannot estimate the costs of a federal
mandate; among the most common reasons are that the costs would depend
on future regulations, that essential information to determine the scope
and impact of the mandate is lacking, that it is unclear whom the bill's
provisions would affect, and that language in UMRA is ambiguous about how
to treat extensions of existing mandates.
Only two laws enacted in 2002 (the Public Health Security and Bioterrorism
Preparedness and Response Act and the Sarbanes-Oxley Act) contained intergovernmental
mandates that were never reviewed by CBO. In one case the bill containing
the mandates was not considered by an authorizing committee, and in the
other case the mandate was added to the legislation after CBO's review.
In addition, 23 of the 377 public laws enacted in 2002 contained private-sector
mandates (see Table 4). CBO estimates
that four of them will impose mandate costs above the $115 million annual
threshold:(4)
- The Job Creation and Worker Assistance Act, which extends the requirement
that health insurers cover mental health and medical benefits equally,
creates tax provisions that limit nonaccrual accounting, and alters the
treatment of indebtedness for S corporations;
-
The Bipartisan Campaign Reform Act, which bans soft-money collections by
national political parties;
-
The Farm Security and Rural Investment Act, which requires that some foods
carry labels indicating their country of origin; and
-
Anton's Law, which requires automakers to install a lap- and shoulder-belt
harness in the center-rear seating position of vehicles.
Table 4.
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Laws Enacted in 2002 That Contained Private-Sector
Mandates |
|
Public Law Number |
Name |
|
Mandate |
Was the Mandate Reviewed by CBO? |
Do Costs Exceed the Threshold?a |
|
107-109 |
Best Pharmaceuticals for Children Act |
|
Extends by six months the period in which drug manufacturers are prohibited
from marketing generic versions of certain drugs |
Yes |
No |
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Repeals waiver of user fees for all applications for pediatric supplements |
Yes |
No |
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Requires drug manufacturers to revise labeling of drugs on the basis
of findings from pediatric studies |
Yes |
No |
|
107-147 |
Job Creation and Worker Assistance Act of 2002 |
|
Extends the mandate requiring private group health plans and health
insurance issuers to cover mental health and medical benefits equally |
Yes |
Yes |
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Creates a program of health insurance premium support that would increase
the cost of an existing mandate on private-sector employers |
No |
No |
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Creates tax provisions that limit nonaccrual accounting and alter the
treatment of indebtedness for S corporations |
Yes |
Yes |
|
107-155 |
Bipartisan Campaign Reform Act of 2002 |
|
Places restrictions on the use of "soft money" by national party committees,
state political parties, and candidates |
Yes |
Yes |
|
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Requires additional reporting by national and Congressional committees
and candidates |
Yes |
No |
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Prohibits certain campaign fundraising; restricts contributions from
minors and foreign nationals |
Yes |
No |
|
107-171 |
Farm Security and Rural Investment Act of 2002 |
|
Imposes new assessments on importers of dairy products and U.S. producers
of cane berries; allows the Department of Agriculture to expand reporting
requirements for manufacturers and storers of dairy products |
Yes |
No |
|
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Requires notification and labels on certain foods indicating their
country of origin |
Yes |
Yes |
|
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Prohibits transportation of live birds for the purpose of fighting |
Yes |
No |
|
107-173 |
Enhance Border Security and Visa Entry Reform Act of 2002b |
|
Requires manifests for arriving and departing commercial vessels or
aircraft |
Yes |
No |
|
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Increases fees for certain visas |
Yes |
No |
|
107-181 |
Clergy Housing Allowance Clarification Act of 2002 |
|
Restricts the amount of rental-allowance income that members of the
clergy may exclude for tax purposes to no more than the fair rental value
of the home(including furnishings) plus utilities |
No |
No |
|
107-188 |
Public Health Security and Bioterrorism Preparedness and Response Act
of 2002 |
|
Requires registration with the federal government of the possession,
use, and transfer of listed agents and toxins |
No |
Uncertain |
|
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Requires that certain facilities engaged in manufacturing, possessing,
packing, or holding food for consumption in the United States register
with the Department of Agriculture |
No |
Uncertain |
|
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|
|
Requires that if a food has been refused admission into the United
States, owners or consignees of the food must affix a label stating such
on the container |
No |
Uncertain |
|
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|
Requires importers of certain drugs and their devices to register annually
with the federal government |
No |
Uncertain |
|
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|
|
Allows prescription drug application fees to be raised under certain
conditions |
No |
Uncertain |
|
107-204 |
Sarbanes-Oxley Act of 2002 |
|
Establishes the Public Company Accounting Oversight Board to regulate
the accounting industry and a standard-setting body to write national standards
for accounting practices; the two regulatory bodies will assess fees on
public companies to cover their costs |
Yes |
Uncertain |
|
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|
Requires auditors and audit committees of public companies to comply
with new standards |
Yes |
Uncertain |
|
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Prohibits insider trades of stock during pension fund blackout periods
if the stock was acquired in connection with service as a director or executive officer |
Yes |
Uncertain |
|
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|
Requires pension plan administrators to notify plan participants, beneficiaries,
and the insurer of employer securities of an impending blackout period |
Yes |
No |
|
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|
|
Requires public corporations to make enhanced financial disclosures
to the Securities and Exchange Commission |
Yes |
Uncertain |
|
107-210 |
Trade Act of 2002b |
|
Requires land, air, or vessel carriers to transmit cargo manifest information
electronically before entering the United States or clearing customs |
Yes |
No |
|
|
|
|
Increases compliance cost of existing requirement to provide health
insurance for certain separated workers |
Yes |
No |
|
107-221 |
Fort Clatsop National Memorial |
|
Authorizes the National Park Service to acquire certain corporately
owned timberlands by condemnation because title to the property is not
clear |
Yesc |
No |
|
107-228 |
Foreign Relations Authorization Act, Fiscal Year 2003 |
|
Requires exporters or their agents not covered under current regulations
to file export declarations through the Automated Export System |
Yes |
No |
|
107-231 |
National Construction Safety Team Act |
|
Requires private entities, if subpoenaed, to provide testimony and
evidence related to matters that the National Construction Safety Team
would be empowered to investigate |
Yes |
No |
|
107-250 |
Medical Device User Fee and Modernization Act of 2002 |
|
Gives the Secretary of Health and Human Services the authority to collect
user fees from manufacturers of medical devices to defray the cost of reviewing
applications for approval to market those devices |
Yes |
No |
|
|
|
|
Requires manufacturers of medical devices to comply with certain labeling
and notification conventions and to submit their registrations electronically |
Yes |
Uncertain |
|
107-273 |
21st Century Department of Justice Appropriation Authorizations Act |
|
Limits access to body armor by violent felons |
Yes |
No |
|
|
|
|
Waives copyright infringement rules for educators who teach long-distance
classes over the Internet and thus restricts copyright owners from receiving
compensation for such use by educators |
Yes |
No |
|
|
|
|
Provides that contract disputes between motor vehicle manufacturers
and dealers can be resolved by arbitration only after both parties agree
to arbitration as a means of settling the dispute |
Yes |
No |
|
107-295 |
Maritime Transportation Security Act of 2002b |
|
Requires port and maritime terminal authorities to establish comprehensive
transportation security programs if the Coast Guard conducts a vulnerability
assessment |
Yes |
Uncertain |
|
|
|
|
Accelerates the date by which certain types of vessels operating in
U.S. waters must install automatic identification systems |
Yes |
Uncertain |
|
107-296 |
Homeland Security Act of 2002b |
|
Requires air carriers to provide additional training to their flight
and cabin crews |
Yes |
Uncertain |
|
|
|
|
Requires air carriers to provide flight attendants with a method of
communicating with pilots |
No |
Uncertain |
|
|
|
|
Requires manufacturers and importers of explosive materials to furnish
samples to the Bureau of Alcohol, Tobacco, and Firearms; imposes new licensing
and reporting requirements for people handling explosive materials |
Yes |
No |
|
107-297 |
Terrorism Risk Insurance Act of 2002b |
|
Requires insurers and policyholders of commercial property and casualty
insurance to pay assessments and surcharges for repayment of the federal
financial assistance provided in connection with all acts of terrorism |
Yes |
Uncertain |
|
|
|
|
Requires insurers of commercial property to offer terrorism insurance |
No |
Uncertain |
|
107-306 |
Intelligence Authorization Act for Fiscal Year 2003b |
|
Requires private entities, if subpoenaed, to provide testimony and
evidence to the National Commission on Terrorist Attacks upon the United
States |
Yes |
No |
|
107-313 |
Mental Health Parity Reauthorization Act of 2002 |
|
Amends the Employee Retirement Income Security Act and Public Health
Service Act to extend mental health parity provisions through 2003 |
No |
Uncertain |
|
107-318 |
Anton's Law |
|
Requires manufacturers of passenger motor vehicles to install lap-
and shoulder-belt harnesses in the rear seats of certain vehicles |
Yes |
Yes |
|
107-330 |
Veterans Benefits Act of 2002b |
|
Temporarily exempts some National Guard members who are performing
homeland security activities from certain financial obligations |
Yes |
Uncertain |
|
107-331 |
Indian Financing Amendments Act of 2002 |
|
Prohibits anyone from condemning certain land owned in fee by the Pechanga
band until the Secretary of the Interior renders a final decision on the
band's pending application to transfer that land into a trust and until
final decisions have been made about all appeals relating to that application |
Yes |
No |
|
|
|
|
Limits the fees payable to attorneys under contract with the Cherokee,
Choctaw, and Chickasaw nations to 10 percent of the funds allocated by
the government to each of those nations |
Yes |
No |
|
107-355 |
Pipeline Safety Improvement Act of 2002b |
|
Requires operators of natural gas and hazardous-liquid pipelines to
adhere to minimum safety standards, provide whistleblower protection for
employees, create an employee qualification program, honor orders by the
Department of Transportation to correct unsafe conditions, conduct facility
risk analyses, develop an integrity management program, create a terrorism
security plan, and provide mapping data |
Yes |
No |
|
|
Six of the laws enacted in 2002 contained private-sector mandates that
were reviewed by CBO but whose costs could not be determined. Those mandates
involved new standards for auditing and accounting firms, regulations on
manufacturers of medical devices, and a variety of homeland security matters
(such as mandating extra security procedures for ports, accelerating the
date by which vessels must comply with identification systems, requiring
air carriers to provide additional antiterrorism training to their flight
crews, requiring insurers and policyholders to pay assessments to cover
the cost of federal assistance provided in connection with acts of terrorism,
and temporarily exempting some National Guard members who are performing
homeland security activities from certain financial obligations).
Moreover, five 2002 laws contained private-sector mandates that CBO
did not review. Three of those laws (which address tax benefits for members
of the clergy, public health and bioterrorism, and parity in how health
insurers cover mental health benefits and medical benefits) were never
considered by an authorizing committee and thus did not receive a CBO review.
The other two laws contained mandates that were added after CBO had reviewed
the legislation: a mandate on air carriers was added to the Homeland Security
Act, and a mandate on insurers was added to the Terrorism Risk Insurance
Act.
The rest of the 2002 laws containing private-sector mandates will not
exceed the UMRA cost threshold, in CBO's view.
In all, almost 40 percent of the public laws with private-sector mandates
enacted last year were related to antiterrorism and security in response
to the attacks of September 11, 2001. All of those laws either had estimated
mandate costs below the threshold or had mandate costs that CBO could not
estimate.
Mandate Statements Prepared Since UMRA
Went into Effect
Since UMRA took effect in 1996, CBO has provided mandate statements for
nearly every public bill reported by an authorizing committee. Most of
that legislation did not contain federal mandates as UMRA defines them.
Of the more than 4,000 bills and other legislative proposals that CBO reviewed
from 1996 through 2002, 11 percent contained intergovernmental mandates,
and 14 percent contained private-sector mandates (see Table 5). Those percentages have varied slightly from year to year.
Over the seven-year period, the share of bills containing mandates has
ranged between 9 percent and 14 percent for intergovernmental mandates
and between 11 percent and 19 percent for private-sector mandates.
|
|
|
|
|
|
|
|
|
|
Table 5.
|
Number of CBO Mandate Statements for Bills, Proposed
Amendments, and Conference Reports, 1996-2002 |
|
|
1996a |
1997 |
1998 |
1999 |
2000 |
2001 |
2002 |
Total, 1996-2002 |
|
Intergovernmental Mandates |
|
Total Number of Statements Transmitted |
718 |
521 |
541 |
573 |
706 |
389 |
649 |
4,097 |
|
Number of Statements That Identified Mandates |
69 |
64 |
64 |
81 |
77 |
50 |
60 |
465 |
|
Mandate costs would exceed thresholdb |
11 |
8 |
6 |
4 |
3 |
4 |
6 |
42 |
|
Mandate costs could not be estimated |
6 |
7 |
7 |
0 |
1 |
3 |
5 |
29 |
|
Private-Sector Mandates |
|
Total Number of Statements Transmitted |
673 |
498 |
525 |
556 |
697 |
389 |
645 |
3,983 |
|
Number of Statements That Identified Mandates |
91 |
65 |
75 |
105 |
86 |
66 |
73 |
561 |
|
Mandate costs would exceed thresholdb |
38 |
18 |
18 |
20 |
6 |
18 |
19 |
137 |
|
Mandate costs could not be estimated |
2 |
5 |
9 |
13 |
7 |
8 |
14 |
58 |
|
|
For most of that period, the proportion of bills with mandate costs
that exceed the UMRA thresholds has remained roughly constant. In the case
of intergovernmental mandates above the threshold, that share has held
steady at about 1 percent a year since 1998 (falling slightly below half
a percent in 2000). In the case of private-sector mandates, the proportion
of bills containing mandates with costs over the threshold has been about
3 percent a year since 1998. (Two years since then are exceptions: in 2000,
only 1 percent of the bills reviewed by CBO had private-sector mandates
with costs above the threshold; and in 2001, the total number of bills
reviewed was well below average, but the number with mandates remained
roughly constant at about 18 bills, amounting to 5 percent of the bills
reviewed.)(5)
In addition, in each year since 1997, CBO has been unable to estimate
mandate costs for about 1 percent of the bills reviewed for intergovernmental
mandates and 1 percent to 2 percent of the bills reviewed for private-sector
mandates.
A |
Key Provisions in Title I of the Unfunded Mandates Reform Act |
Title I of the Unfunded Mandates Reform Act of
1995 (UMRA) attempts to ensure that the Congress has information about
the potential direct costs of federal mandates before enacting legislation.
UMRA requires the Congressional Budget Office (CBO) and Congressional authorizing
committees to develop and report information about the existence and costs
of mandates in proposed legislation. The law also establishes mechanisms
to bring that information to the attention of the Congress before legislation
is considered on the floor of the House or Senate.
Defining Mandates and Their Costs
UMRA defines federal mandates narrowly: as any provision in legislation,
statue, or regulation that would impose an enforceable duty on state,
local, or tribal governments or the private sector or that would reduce
or eliminate the amount of funding authorized to cover the costs of existing
mandates. Duties that are imposed as a condition of federal assistance
or that arise from participation in a voluntary federal program are not
considered mandates under UMRA. In the case of some large entitlement programs
(in which $500 million or more is provided annually to state, local, or
tribal governments), a new condition on or a reduction in federal assistance
is considered a mandate only if other levels of government lack the flexibility
to offset the new costs or the loss of federal funding with reductions
elsewhere in the program.
The scope of UMRA is further narrowed by the fact that the law's procedures
do not apply to legislative provisions that deal with constitutional rights,
discrimination, emergency aid, accounting and auditing procedures for grants,
national security, treaty ratification, and title II of Social Security
(Old-Age, Survivors, and Disability Insurance benefits).
UMRA defines directs costs as amounts that mandated entities--governmental
or private-sector--would be required to spend to comply with the enforceable
duty, including amounts that states, localities, and tribes "would be prohibited
from raising in revenues." Direct costs exclude amounts that mandated entities
would spend to comply with applicable laws, regulations, or professional
standards in effect when the federal mandate is adopted. In addition, direct
costs must be offset by direct savings to the mandated entities that would
result from compliance with the mandate or by savings from other provisions
of the same legislation that govern the same activity that is affected
by the mandate.
Mandate Cost Statements: CBO's Role
UMRA requires CBO to provide a statement to Congressional authorizing
committees about whether reported bills contain federal mandates. If the
total direct costs of all mandates in a bill are above a specified threshold
in any of the first five fiscal years in which the mandates are effective,
CBO must provide an estimate of those costs (if feasible) and the basis
of its estimate. The statutory thresholds are $50 million for intergovernmental
mandates and $100 million for private-sector mandates in 1996 dollars,
adjusted yearly for inflation.
The CBO mandate statement must also include an assessment of whether
the bill authorizes or otherwise provides funding to cover the costs of
any new federal mandate. In the case of intergovernmental mandates, the
statement must, under certain circumstances, estimate the appropriations
needed to fund such authorizations for up to 10 years after the mandate
takes effect.
Authorizing committees must publish CBO's mandate statements in their
reports or in the Congressional Record before a bill is considered
on the floor of the House or Senate. Conference committees must, "to the
greatest extent practicable," ensure that CBO prepares statements for conference
agreements or amended bills if they contain mandates not previously considered
by either House or if they impose greater direct costs than the version
considered earlier. At the request of a Senator, CBO must estimate the
costs of intergovernmental mandates contained in an amendment the Senator
may wish to offer.
The Congress may also call on CBO to prepare analyses at other stages
of the legislative process. If asked by the Chairman or Ranking Member
of a committee, CBO will help committees analyze the impact of proposed
legislation, conduct special studies of legislative proposals, or compare
a federal agency's estimate of the costs of proposed regulations to implement
a federal mandate with CBO's estimate made when the law was enacted.
Enforcement Mechanisms
Section 425 of UMRA sets out rules for both the House and Senate that
prohibit them from considering legislation unless certain conditions are
met. For all reported legislation, consideration is not "in order" unless
the committee has published a CBO mandate statement. (That is, UMRA prohibits
the consideration of a reported bill unless the committee has published
a CBO statement about the costs of any mandates.)
For reported legislation that contains intergovernmental mandates with
direct costs above the UMRA threshold, the rules preclude consideration
unless the legislation provides direct spending authority or authorizes
appropriations sufficient to cover those costs. An authorization of appropriations
will not be sufficient unless the authorized amounts are specified for
each year (up to 10 years) after the effective date of the mandates and
the legislation provides a way to terminate or scale back the mandates
if the federal agency determines that the appropriated funds are not sufficient
to cover those costs.
Finally, although UMRA does not specifically require CBO to analyze
the cost of mandates in appropriation bills, considering legislative provisions
in such bills--or amendments to them--that increase the direct costs of
intergovernmental mandates is not in order unless an appropriate CBO mandate
statement is available.
Those rules are not self-enforcing, however; a Member must raise a point
of order to enforce them. In the House, if a Member raises a point of order,
the full House votes on whether to consider the bill regardless of whether
there is a violation. In the Senate, if a point of order is raised, the
bill may not be considered unless either the Senate waives the point of
order or the chair of the Senate overrules it.
B |
List of Bills in 2002 That Contained Mandates |
This appendix expands on the information provided
in the main text and in earlier tables by listing legislation reviewed
by the Congressional Budget Office in 2002 that would impose federal mandates,
regardless of whether the estimated costs of those mandates would be more
or less than the thresholds and regardless of whether the legislation was enacted. Table B-1 lists bills with intergovernmental
mandates in numerical order, including various versions of the same bill
considered by different committees. Table B-2 provides the same information for bills with private-sector mandates.
|
|
|
|
|
Table B-1.
|
Bills Reviewed by CBO in 2002 That Contained Intergovernmental Mandates |
|
Bill Number (Committee) |
|
Name |
|
Mandate |
|
Intergovernmental Mandates with Costs Above the Statutory Thresholda |
|
H.R. 3215 |
|
Combating Illegal Gambling Reform and Modernization Act |
|
Prohibits interstate transmission of bets and the operation of certain
linked games by Indian tribes |
|
H.R. 4954
(Ways and Means) |
|
Medicare Modernization and Prescription Drug Act of 2002 |
|
Preempts various state laws, including premium taxes and disclosure
regulations |
|
H.R. ------
(Energy and Commerce) |
|
Medicare Modernization and Prescription Drug Act of 2002 |
|
Preempts various state laws, including premium taxes and disclosure
regulations |
|
S. 556 |
|
Clean Power Act of 2002 |
|
Requires public power plants to comply with new emission controls |
|
S. 848 |
|
Social Security Number Misuse Prevention Act of 2002 |
|
Prohibits display of Social Security numbers on certain public documents |
|
S. 2538 |
|
Fair Minimum Wage Act of 2002 |
|
Requires state and local governments as employers to pay a higher minimum
wage |
|
Intergovernmental Mandates with Costs Below the Statutory Thresholda |
|
H.R. 521 |
|
An act to amend the Organic Act of Guam for the purposes of clarifying
the local judicial structure of Guam |
|
Preempts the authority of the Guam legislature to establish the structure
of the local judiciary |
|
H.R. 1448
(Judiciary) |
|
An act to clarify the tax treatment of bonds and other obligations
issued by the government of American Samoa |
|
Exempts bonds issued by American Samoa from state, local, and territorial
taxes |
|
H.R. 1448
(Resources) |
|
An act to clarify the tax treatment of bonds and other obligations
issued by the government of American Samoa |
|
Exempts bonds issued by American Samoa from state, local, and territorial
taxes |
|
H.R. 1701
(Financial Services) |
|
Consumer Rental Purchase Agreement Act |
|
Preempts state laws inconsistent with new federal regulations for rental-purchase
agreements |
|
H.R. 1701
(Judiciary) |
|
Consumer Rental Purchase Agreement Act |
|
Preempts state laws inconsistent with new federal regulations for rental-purchase
agreements |
|
H.R. 2305 |
|
Criminal Justice Coordinating Council
Restructuring Act of 2002 |
|
Requires a new report from the District of Columbia |
|
H.R. 2440 |
|
An act to rename Wolf Trap Farm Park as "Wolf Trap National Park for
the Performing Arts," and for other purposes |
|
Requires the state of Virginia to post new signs referring to Wolf
Trap by its new full name |
|
H.R. 2546 |
|
Real Interstate Driver Equity Act of 2001 |
|
Preempts state laws requiring dual licensing of limousine drivers |
|
H.R. 3479 |
|
National Aviation Capacity Expansion Act of 2002 |
|
Preempts the authority of Illinois to regulate activities at O'Hare
Airport; requires Chicago to mitigate noise around the airport |
|
H.R. 3482 |
|
Cyber Security Enhancement Act of 2002 |
|
Requires state and local agencies to report to the federal government
their receipt of disclosure forms from providers of electronic services |
|
H.R. 3534 |
|
Cherokee, Choctaw, and Chickasaw Nations Claims Settlement Act |
|
Extinguishes outstanding legal claims of the Cherokee, Choctaw, and Chickasaw nations |
|
H.R. 3580 |
|
Medical Device User Fee and Modernization Act |
|
Requires manufacturers of medical devices (including state and local
governments) to pay fees and comply with other requirements |
|
H.R. 3609 |
|
Pipeline Infrastructure Protection to Enhance Security and Safety Act |
|
Imposes new user fees and operating and safety requirements on pipeline
operators |
|
H.R. 3717 |
|
Federal Deposit Insurance Reform Act of 2002 |
|
Preempts state laws regarding statutes of limitations |
|
H.R. 3951
(Financial Services) |
|
Financial Services Regulatory Relief Act of 2002 |
|
Preempts state contract and securities laws; requires state regulators
to furnish a report |
|
H.R. 3951
(Judiciary) |
|
Financial Services Regulatory Relief Act of 2002 |
|
Preempts state contract and securities laws; requires state regulators
to furnish a report |
|
H.R. 4125 |
|
Federal Courts Improvement Act of 2002 |
|
Eliminates existing exemption from federal jury duty for certain state
and local employees |
|
H.R. 4466 |
|
National Transportation Safety Board Reauthorization Act of 2002 |
|
Says that states cannot block organizations from providing assistance
to certain victims of rail accidents |
|
H.R. 4600
(Energy and Commerce) |
|
Help Efficient, Accessible, Low-Cost, Timely Healthcare Act |
|
Preempts state laws that provide less liability protection than the
bill would |
|
H.R. 4600
(Judiciary) |
|
Help Efficient, Accessible, Low-Cost, Timely Healthcare Act |
|
Preempts state laws that provide less liability protection than the
bill would |
|
H.R. 4635 |
|
Arming Pilots Against Terrorism Act |
|
Preempts state firearms laws as they relate to pilots carrying firearms
as federal officers |
|
H.R. 4687 |
|
National Construction Safety Team Act |
|
Subjects public entities to subpoenas |
|
H.R. 4889 |
|
Patient Safety Improvement Act of 2002 |
|
Preempts state freedom-of-information laws |
|
H.R. 5005 |
|
Homeland Security Act of 2002 |
|
Requires airports to give notice if they cannot install an explosive-detection
system as required by law; preempts state jurisdiction over some liability
cases |
|
H.R. 5012 |
|
John F. Kennedy Center Plaza Authorization Act of 2002 |
|
Preempts the authority of the District of Columbia to dispose of city
property; may require the city to alter its highway system |
|
H.R. 5422 |
|
Child Abduction Prevention Act |
|
Expands existing mandate by increasing reporting requirements |
|
H.R. 5478 |
|
Patient Safety and Quality Improvement Act |
|
Preempts state freedom-of-information laws and limits other employer
actions |
|
S. 351 |
|
Mercury Reduction Act of 2002 |
|
Prohibits the sale of mercury thermometers without a prescription |
|
S. 630 |
|
Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2002 |
|
Preempts state and local laws regulating unsolicited commercial e-mail |
|
S. 710 |
|
Eliminate Colorectal Cancer Act of 2002 |
|
Requires certain state and local heath plans to provide colorectal
cancer screening; preempts some state laws |
|
S. 1209 |
|
Trade Adjustment Assistance for Workers, Farmers, Communities, and Firms Act of 2001 |
|
Requires states to implement a trade-adjustment assistance program;
preempts state and local authority to make certain determinations about
eligibility for public benefits |
|
S. 1284 |
|
Employment Non-Discrimination Act of 2002 |
|
Prohibits employers from discriminating on the basis of sexual orientation |
|
S. 1602 |
|
Chemical Security Act of 2002 |
|
Requires operators of certain facilities to take actions to protect
against chemical releases |
|
S. 1742 |
|
Identity Theft Victims Assistance Act of 2002 |
|
Preempts state laws that prohibit the disclosure of certain financial
information to third parties |
|
S. 1746 |
|
Nuclear Security Act of 2002 |
|
Requires new security procedures and standards at nuclear facilities |
|
S. 1867 |
|
An act to establish the National Commission on Terrorist Attacks Upon
the United States, and for other purposes |
|
Requires state and local governments to respond to subpoenas |
|
S. 1991 |
|
National Defense Rail Act |
|
Requires states to maintain information on railway-highway crossings |
|
S. 2039 |
|
National Aviation Capacity Expansion Act of 2002 |
|
Preempts the authority of Illinois to regulate activities at O'Hare
Airport; requires Chicago to mitigate noise around the airport |
|
S. 2237 |
|
Veterans Benefits Improvement Act of 2002 |
|
Extends federal protections to certain members of the National Guard |
|
S. 2329 |
|
Ship, Seafarer, and Container Security Act |
|
Accelerates the date by which certain types of publicly owned vessels
operating in U.S. waters must install automatic identification systems |
|
S. 2452 |
|
National Homeland Security and Combating Terrorism Act of 2002 |
|
Prohibits state and municipal employers from dismissing workers for
disclosing violations of federal law |
|
S. 2480 |
|
Law Enforcement Officers Safety Act of 2002 |
|
Preempts state and local laws that prohibit the carrying of concealed
weapons |
|
S. 2506
(Armed Services) |
|
Intelligence Authorization Act for Fiscal Year 2003 |
|
Requires state and local governments to respond to subpoenas |
|
S. 2506
(Intelligence) |
|
Intelligence Authorization Act for Fiscal Year 2003 |
|
Requires state and local governments to respond to subpoenas |
|
S. 2550 |
|
Professional Boxing Amendments Act of 2002 |
|
Requires state and tribal boxing commissions to comply with new guidelines |
|
S. 2673 |
|
Public Company Accounting Reform and Investor Protection Act of 2002 |
|
Preempts state authority to license and regulate an oversight board
as a nonprofit corporation |
|
S. 2771 |
|
John F. Kennedy Center Plaza Authorization Act of 2002 |
|
Preempts the authority of the District of Columbia to dispose of city
property; may require the city to alter its highway system |
|
S. 2823 |
|
An act to amend the Organic Act of Guam for the purposes of clarifying
the local judicial structure of Guam |
|
Preempts the authority of the Guam legislature to establish the structure
of the local judiciary |
|
S. 3054 |
|
No Taxation Without Representation Act of 2002 |
|
Requires the District of Columbia to hold elections for Senate and
House seats |
|
Intergovernmental Mandates with Costs That Could Not Be Estimated |
|
H.R. 2037
(Commerce, Science, and Transportation) |
|
Protection of Lawful Commerce in Arms Act |
|
Prohibits state, local, or tribal governments from entering into lawsuits
against gun manufacturers |
|
H.R. 2037
(Judiciary) |
|
Protection of Lawful Commerce in Arms Act |
|
Prohibits state, local, or tribal governments from entering into lawsuits
against gun manufacturers |
|
H.R. 3983 |
|
Maritime Transportation Antiterrorism Act of 2002 |
|
Requires public port authorities to upgrade security procedures and
infrastructure |
|
H.R. 4737 |
|
Work, Opportunity, and Responsibility for Kids Act of 2002 |
|
Reduces the amount of money states may retain from child support collections;
prohibits states from using the child support enforcement system to collect
costs paid for by Medicaid |
|
S. 2201 |
|
Online Personal Privacy Act |
|
Preempts certain state laws regulating Internet privacy and disclosure;
may require state and local governments to comply with new rules regarding
the collection and use of personal information |
|
|
|
|
|
|
|
Table B-2.
|
Bills Reviewed by CBO in 2002 That Contained Private-Sector Mandates |
|
Bill Number (Committee) |
|
Name |
|
Mandate |
|
Private-Sector Mandates with Costs Above the Statutory Thresholda |
|
H.J. Res. 84 |
|
A resolution disapproving the action taken by the President under section 203 of the Trade Act of 1974 |
|
Increases tariff rates for importers of steel and steel products in
2006 |
|
H.R. 7 |
|
CARE Act of 2002 |
|
Extends customs user fees; amends tax provisions relating to reportable
transactions, tax shelters, inversion transactions, and reinsurance agreements |
|
H.R. 3717 |
|
Federal Deposit Insurance Reform Act of 2002 |
|
Increases federal deposit insurance coverage for most insured accounts,
which would require banks and savings associations to pay higher insurance
premiums |
|
H.R. 3762 |
|
Pension Security Act of 2002 |
|
Imposes new requirements on sponsors, administrators, and fiduciaries of pension plans |
|
H.R. 3951
(Financial Services) |
|
Financial Services Regulatory Relief Act of 2002 |
|
Requires depository institutions to notify customers of information
furnished to a consumer reporting agency that may adversely affect the
customers' interests; expands prohibitions on employment at financial institutions
of people convicted of certain crimes |
|
H.R. 3951
(Judiciary) |
|
Financial Services Regulatory Relief Act of 2002 |
|
Requires depository institutions to notify customers of information
furnished to a consumer reporting agency that may adversely affect the
customers' interests; expands prohibitions on employment at financial institutions
of people convicted of certain crimes |
|
H.R. 4600
(Energy and Commerce) |
|
Help Efficient, Accessible, Low-Cost, Timely Healthcare Act of 2002 |
|
Limits the size of the awards that attorneys may receive in medical
malpractice cases |
|
H.R. 4600
(Judiciary) |
|
Help Efficient, Accessible, Low-Cost, Timely Healthcare Act of 2002 |
|
Limits the size of the awards that attorneys may receive in medical
malpractice cases |
|
H.R. 5504 |
|
Anton's Law |
|
Requires motor vehicles to have a lap- and shoulder-belt harness in
the center-rear seating position |
|
S. 556 |
|
Clean Power Act of 2002 |
|
Limits emissions of carbon dioxide, sulfur dioxide, and nitrogen oxide
from large electricity generators and requires them to purchase emission
permits; requires coal-fired facilities to reduce mercury emissions; eliminates
current exemptions for certain coal-fired facilities from adopting BACT |
|
S. 710 |
|
Eliminate Colorectal Cancer Act of 2002 |
|
Requires group health plans and health insurance issuers to provide
coverage of colorectal cancer screening for certain plan enrollees |
|
S. 1209 |
|
Trade Adjustment Assistance for Workers, Farmers, Communities, and
Firms Act of 2001 |
|
Effectively increases the cost of the existing mandate on employers
to provide continued coverage by increasing the number of separated workers
who elect to continue their COBRA coverage; requires trucks, buses, and
trains to transmit certain passenger and crew manifest information electronically before entering the United States; requires retailers
to inform customers of the country of origin of certain commodities |
|
S. 1746 |
|
Nuclear Security Act of 2002 |
|
Requires new security measures at sensitive nuclear facilities, effectively
raising fees for licensees; expands the system for licensing sensitive radioactive materials |
|
S. 1971 |
|
National Employee Savings and Trust Equity Guarantee Act |
|
Imposes new requirements on sponsors, administrators, and fiduciaries of pension plans |
|
S. 1992 |
|
Protecting America's Pensions Act of 2002 |
|
Imposes new requirements on sponsors, administrators, and fiduciaries of pension plans |
|
S. 2119 |
|
Reversing the Expatriation of Profits Offshore Act |
|
Eliminates some of the tax-favored treatment afforded to certain transactions
of corporations that were previously incorporated in the United States
and reincorporate in foreign jurisdictions |
|
S. 2498 |
|
Tax Shelter Transparency Act |
|
Imposes recordkeeping and reporting requirements on certain types of transactions and on people who provide
professional advice for such transactions |
|
S. 2538 |
|
Fair Minimum Wage Act of 2002 |
|
Requires employers covered by the Fair Labor Standards Act to pay a
higher minimum wage |
|
S. 2950 |
|
National Transportation Safety Board Reauthorization Act of 2002 |
|
Requires motor vehicles to have a lap- and shoulder-belt harness in
the center-rear seating position |
|
Private-Sector Mandates with Costs Below the Statutory Thresholda |
|
H.R. 577
(Senate Governmental Affairs) |
|
An act to amend title 44, United States Code, to require any organization
that is established for the purpose of raising funds for creating, maintaining, expanding, or conducting activities at a Presidential archival
depository or any facilities relating to a Presidential archival depository
to disclose the sources and amounts of any funds raised, and for other
purposes |
|
Requires organizations that raise funds for Presidential archival depositories and tax-exempt foundations named
after or controlled by Members of Congress to report sources and amounts
of contributions |
|
H.R. 1701
(Financial Services) |
|
Consumer Rental Purchase Agreement Act |
|
Requires meaningful disclosures of the terms of rental-purchase agreements,
including disclosures of all costs to consumers under such agreements;
sets forth consumer protections governing statements of accounts, renegotiations and extensions, point-of-sale disclosures, and rental-purchase advertising |
|
H.R. 1701
(Judiciary) |
|
Consumer Rental Purchase Agreement Act |
|
Requires meaningful disclosures of the terms of rental-purchase agreements,
including disclosures of all costs to consumers under such agreements;
sets forth consumer protections governing statements of accounts, renegotiations and extensions, point-of-sale disclosures, and rental-purchase advertising |
|
H.R. 2341 |
|
Class Action Fairness Act of 2002 |
|
Requires that any notice of a proposed settlement of a class action
lawsuit provided to the class members through the mail or in printed media contain certain information
in a specific format; requires certain other notices provided through television
or radio to include specific information in plain language |
|
H.R. 2581 |
|
Export Administration Act of 2001 |
|
Requires pharmaceutical companies that export certain test articles
to comply with new procedures; prohibits exports of implements of torture;
requires exporters to file applications electronically |
|
H.R. 2880
(House Resources) |
|
Five Nations Indian Land Reform Act |
|
Grants authority to the Secretary of the Interior to partition certain
parcels of undivided property held in trust for individual Indians of the
Five Nations who own interest in such property without the consent of all
property owners |
|
H.R. 2880
(Senate Indian Affairs) |
|
Five Nations Indian Land Reform Act |
|
Grants authority to the Secretary of the Interior to partition certain
parcels of undivided property held in trust for individual Indians of the
Five Nations who own interest in such property without the consent of all
property owners |
|
H.R. 3173 |
|
Service Members and Military Families Protection Act of 2001 |
|
Requires a landlord who wishes to evict an active-duty tenant or his
or her dependents for nonpayment of rent to obtain a court order authorizing the eviction |
|
H.R. 3215 |
|
Combating Illegal Gambling Reform and Modernization Act |
|
Prohibits gambling over the Internet and other interactive computer
systems; requires Internet service providers to block their subscribers'
access when notified by state or federal law enforcement agencies |
|
H.R. 3476 |
|
An act to protect certain lands held in fee by the Pechanga Band of
Luiseno Mission Indians from condemnation until a final decision is made
by the Secretary of the Interior regarding a pending fee-to-trust application
for that land, and for other purposes |
|
Prohibits anyone from condemning certain land owned by the Perchanga
band until the Secretary of the Interior renders a final decision on the
band's pending application to transfer that land into trust |
|
H.R. 3534 |
|
Cherokee, Choctaw, and Chickasaw Nations Claims Settlement Act |
|
Limits the fees payable to attorneys under contract with the Cherokee,
Choctaw, and Chickasaw nations to handle certain claims pending in the
U.S. Court of Federal Claims |
|
H.R. 3609 |
|
Pipeline Infrastructure Protection to Enhance Security and Safety Act |
|
Requires certain pipeline owners and operators to pay user fees, implement
an integrity management program on an accelerated schedule, adopt a certified
employee qualification program, and implement a terrorism security program |
|
H.R. 3942 |
|
John Muir National Historic Site Boundary Adjustment Act |
|
Authorizes the National Park Service to acquire a parcel of property
through condemnation |
|
H.R. 4125 |
|
Federal Courts Improvement Act of 2002 |
|
Eliminates the current exemption from federal jury service for military
personnel, police officers, firefighters, and certain public officials |
|
H.R. 4466 |
|
National Transportation Safety Board Reauthorization Act of 2002 |
|
Prohibits anyone from hindering the ability of the National Transportation
Safety Board to carry out its responsibilities under the bill or from hindering
the ability of passengers' families to contact one another in the case
of a significant accident involving a mode of transportation; prohibits attorneys for a 45-day
period from making unsolicited contact about potential legal action with injured passengers
or family members; requires passenger rail carriers to submit plans for
handling major accidents |
|
H.R. 4623 |
|
Child Obscenity and Pornography Prevention Act of 2002 |
|
Expands reporting requirements for electronic communication providers
to include additional activities related to child pornography |
|
H.R. 4687 |
|
National Construction Safety Team Act |
|
Requires private-sector entities, if subpoenaed, to provide testimony
and evidence related to matters that the National Construction Safety Team
would be empowered to investigate |
|
H.R. 4701 |
|
Sports Agent Responsibility and Trust Act |
|
Prohibits a sports agent from providing anything of value to a student
athlete or anyone associated with the athlete before entering into a contract;
requires agents to provide a student athlete with a specific disclosure
document before entering into a contract and prohibits predating or postdating
of such a contract |
|
H.R. 4864 |
|
Anti-Terrorism Explosives Act of 2002 |
|
Requires manufacturers and importers of explosive materials or ammonium
nitrate to furnish samples of those materials to the ATF; requires all purchasers of explosives to obtain permits from the ATF; requires applicants
for licenses and permits for handling explosives to submit identifying
information |
|
H.R. 4954 |
|
Medicare Modernization and Prescription Drug Act of 2002 |
|
Modifies several existing requirements on insurers that offer Medicare
supplemental (medigap) coverage; imposes new requirements on Internet pharmacies
and group health plans |
|
H.R. 4965 |
|
Partial-Birth Abortion Ban Act of 2002 |
|
Prohibits the procedure commonly known as "partial-birth" abortion |
|
H.R. 5063 |
|
Armed Forces Tax Fairness Act of 2002 |
|
Imposes a mark-to-market tax on the property of individuals who expatriate |
|
H.R. 5385 |
|
Miscellaneous Trade and Technical Corrections Act of 2002 |
|
Requires certain wine importers to certify that their imports meet
U.S. wine-making standards |
|
H.R. ------
(Energy and Commerce) |
|
Medicare Modernization and Prescription Drug Act of 2002 |
|
Modifies several existing requirements on insurers that offer Medicare
supplemental (medigap) coverage; imposes new requirements on Internet pharmacies
and group health plans |
|
S. 351 |
|
Mercury Reduction Act of 2002 |
|
Prohibits the sale or supply of mercury thermometers except by prescription; requires manufacturers to provide
clear instructions on the careful handling of such thermometers |
|
S. 487
(House Judiciary) |
|
Technology, Education, and Copyright Harmonization Act of 2001 |
|
Limits the right of copyright owners to collect compensation
for use of certain materials by educators in classes offered over the Internet |
|
S. 630 |
|
Controlling the Assault of Non-Solicited Pornography and Marketing Act of 2002 |
|
Requires senders of commercial e-mail to include a valid return e-mail
address and an accurate subject heading in their message; requires senders
of unsolicited commercial e-mail to provide an opt-out clause in each message |
|
S. 1284 |
|
Employment Non-Discrimination Act of 2002 |
|
Prohibits employers, employment agencies, and labor organizations from
discriminating against workers on the basis of sexual orientation and requires
them to post notices to that effect |
|
S. 1340 |
|
Indian Probe Reform Act of 2002 |
|
Places new eligibility and distribution requirements on the inheritance
of interests in Indian trust and restricted lands |
|
S. 1602 |
|
Chemical Security Act of 2002 |
|
Requires owners and operators of certain facilities to protect against
the unauthorized release of chemical substances |
|
S. 1742 |
|
Identity Theft Victims Assistance Act of 2002 |
|
Requires businesses to provide transaction information without charge within 20 days after receipt of a written
request by the victim of alleged identity theft; requires credit reporting
agencies to permanently block the reporting of information resulting from
identity theft |
|
S. 1867 |
|
An act to establish the National Commission on Terrorist Attacks upon
the United States, and for other purposes |
|
Requires private-sector entities, if subpoenaed, to provide testimony
and evidence related to matters that the commission determines to be advisable |
|
S. 1956 |
|
Safe Explosives Act |
|
Requires manufacturers and importers of explosive materials or ammonium
nitrate to furnish samples of those materials to the ATF; requires all purchasers of explosives to obtain permits from the ATF; requires applicants
for licenses and permits for handling explosives to submit identifying
information |
|
S. 2010 |
|
Corporate and Criminal Fraud Accountability Act of 2002 |
|
Requires any accountant who conducts certain corporate audits to maintain
all audit or review papers for five years; prohibits companies from discharging,
demoting, suspending, harassing, or discriminating against employees who
provide information to the federal government on the terms and conditions
of their employment |
|
S. 2506
(Armed Services) |
|
Intelligence Authorization Act for Fiscal Year 2003 |
|
Requires private-sector entities, if subpoenaed, to provide testimony
and evidence related to matters that the National Commission for Review
of Research and Development Programs of the United States Intelligence
Community determines to be advisable |
|
S. 2506
(Select Committee on Intelligence) |
|
Intelligence Authorization Act for Fiscal Year 2003 |
|
Requires private-sector entities, if subpoenaed, to provide testimony
and evidence related to matters that the National Commission for Review
of Research and Development Programs of the United States Intelligence
Community determines to be advisable |
|
S. 2550 |
|
Professional Boxing Amendments Act of 2002 |
|
Requires boxers, managers, promoters, and sanctioning organizations
to meet certain safety standards and be licensed by the U.S. Boxing Administration |
|
S. 2711 |
|
Indian Programs Reauthorization and Technical Amendments Act of 2002 |
|
Prohibits anyone from condemning certain land owned by the Pechanga
band until the Secretary of the Interior renders a final decision on the
band's pending application to transfer that land into trust |
|
S. 2949 |
|
Aviation Security Improvement Act |
|
Requires air carriers that operate passenger aircraft and all-cargo
aircraft to comply with new security procedures for cargo; requires facilities
that offer flight training to submit information on foreign candidates
requesting initial training on any aircraft |
|
S. 2989 |
|
An act to protect certain lands held in fee by the Pechanga Band of
Luiseno Mission Indians from condemnation until a final decision is made
by the Secretary of the Interior regarding a pending fee-to-trust application
for that land, and for other purposes |
|
Prohibits anyone from condemning certain land owned by the Pechanga
band until the Secretary of the Interior renders a final decision on the
band's pending application to transfer that land into trust |
|
Private-Sector Mandates with Costs That Could Not Be Estimated |
|
H.J. Res. 101 |
|
A resolution disapproving the extension of the waiver authority contained
in section 402(c) of the Trade Act of 1974 with respect to Vietnam |
|
Increases tariff rates for importers of goods from Vietnam |
|
H.R. 2037
(Energy and Commerce) |
|
Protection of Lawful Commerce in Arms Act |
|
Prohibits private-sector parties from suing certain manufacturers or
sellers of firearms and related trade associations when their products
are used unlawfully |
|
H.R. 2037
(Judiciary) |
|
Protection of Lawful Commerce in Arms Act |
|
Prohibits private-sector parties from suing certain manufacturers or
sellers of firearms and related trade associations when their products
are used unlawfully |
|
H.R. 3580 |
|
Medical Device User Fee and Modernization Act |
|
Requires manufacturers of medical devices to comply with certain labeling
requirements and application procedures and to pay fees to the Food and
Drug Administration |
|
H.R. 3763 |
|
Corporate and Auditing Accountability, Responsibility, and Transparency Act of 2002 |
|
Imposes new requirements on independent public or certified accountants
who provide auditing services; imposes a fee to fund a new accounting regulatory
board; requires companies that issue securities to disclose some information
on an accelerated schedule; prohibits owners and officers of a company
from selling company stock during certain periods |
|
H.R. 3983 |
|
Maritime Transportation Antiterrorism Act of 2002 |
|
Requires certain ports and facilities at those ports to develop and
comply with antiterrorism plans; requires shippers to provide information electronically on containerized cargo; requires some vessels to have
automatic identification systems |
|
H.R. 4635 |
|
Arming Pilots Against Terrorism Act |
|
Requires air carriers to provide additional training to their flight
and cabin crews |
|
H.R. 4737 |
|
Work, Opportunity, and Responsibility for Kids Act of 2002 |
|
Extends the government's authority to collect certain customs user
fees through February 28, 2005 |
|
H.R. 5478 |
|
Patient Safety and Quality Improvement Act |
|
Imposes new requirements on health care providers and on manufacturers, packagers, and labelers of drugs and
biological products |
|
S. 848 |
|
Social Security Number Misuse Prevention Act of 2002 |
|
Prohibits the display, sale, or purchase of someone's Social Security number without that person's consent; requires
businesses that accept credit cards to truncate card numbers on electronically printed receipts |
|
S. 2201 |
|
Online Personal Privacy Act |
|
Prohibits Internet and online service providers and commercial Web
sites from collecting or disclosing personal information from an Internet
user without the user's consent |
|
S. 2237 |
|
Veterans Benefits Improvements Act of 2002 |
|
Temporarily exempts some National Guard members who are performing homeland security activities from certain
financial obligations |
|
S. 2329 |
|
Ship, Seafarer, and Container Security Act |
|
Accelerates the date by which certain types of vessels operating in
U.S. waters must install automatic identification systems |
|
S. 2673 |
|
Public Company Accounting Reform and Investor Protection Act of 2002 |
|
Establishes a new oversight board and standard-setting body to regulate
the accounting industry; imposes requirements on registered public accounting firms; imposes a fee on those firms to fund the new oversight
board; requires companies to certify financial reports; requires companies
that issue securities to disclose some information on an accelerated schedule;
prohibits owners and officers of a company from selling company stock during
certain periods |
|
|
C |
Primary Contributors to CBO's Analyses of Mandates |
The following Congressional Budget Office analysts
prepare the mandate statements that CBO produces for bills and other legislative
proposals:
|
|
Intergovernmental Mandates |
|
Budget Analysis Division |
|
Theresa Gullo |
Chief, state and local government cost estimates |
Victoria Heid Hall |
Community development, disaster relief, commerce, national security |
Leo Lex |
Health, human resources, income security, Social Security, education,
training, employment |
Marjorie Miller |
Agriculture, natural resources, Indian affairs, water resources |
Gregory Waring |
Education, transportation, housing, defense, veterans' affairs, administration
of justice, general science, space and technology, energy |
Ernestine McNeil |
Secretarial support |
|
|
Private-Sector Mandates |
|
Microeconomic and Financial Studies Division |
|
Patrice Gordon |
Chief, private-sector mandates |
Lauren Marks |
Energy, natural resources, international affairs, trade |
Cecil McPherson III |
Natural resources, small business, housing, Indian affairs |
Paige Piper/Bach |
Financial services, governmental affairs, justice |
Jean Talarico |
Agriculture, commerce, transportation, general science |
Rae Roy |
Secretarial support |
|
Health and Human Resources Division |
|
Bruce Vavrichek |
Coordinator, health and human resources |
Nabeel Alsalam |
Education, labor |
David Auerbach |
Health |
James Baumgardner |
Health |
Kate Bloniarz |
Income security, health |
Anna Cook |
Health |
Stuart Hagen |
Health |
Samuel Kina |
Health |
Robert Nguyen |
Health |
Ralph Smith |
Labor, income security |
Daniel Wilmoth |
Labor, health |
Ronald Moore |
Secretarial support |
Judith Cromwell |
Secretarial support |
|
Natural Security Division |
|
Allison Percy |
Coordinator, Department of Defense and veterans' issues |
Deborah Clay-Mendez |
Backup Coordinator, defense issues |
Cynthia Cleveland |
Secretarial support |
|
Tax Analysis Division |
|
Mark Booth |
Coordinator, tax analysis |
Annabelle Bartsch |
Revenues |
|
Office of the General Counsel |
|
Robert Murphy |
General Counsel |
Jennifer Smith |
Deputy General Counsel |
1. |
Two cases in which those resources are counted
in the budget are revenues collected from taxes imposed by the federal
government and offsetting collections, such as regulatory fees. |
2. |
CBO's annual reports on UMRA, as well as a report
covering UMRA's first five years, can be found on CBO's Web site. |
3. |
For more information about preemptions, see Congressional
Budget Office, Preemptions in Federal Legislation in the 106th Congress
(June 2001). |
4. |
Although the first two laws of the four listed
were enacted in 2002, their original legislation was reviewed by CBO in
2001. Thus, they do not appear among the 13 private-sector mandates with
costs over the statutory threshold that CBO identified in 2002 (which are
listed at left). |
5. |
Typically, the number of bills considered by committee
is larger in the second session of a Congress (such as in 1998, 2000, and
2002) than in the first session. The Congress considered an unusually small
number of bills in the first session of the 107th Congress (in 2001), probably
for several reasons, including the events of September 11, 2001. |
|